This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

AMERIPRISE FINANCIAL SERVICES, LLC

Current firm class

national broker-dealer RIAderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Mar 13, 2002earliest registration or exam on IAPD

Years in industry

24derivedfrom the industry start date

Years at current firm

10derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Mar 13, 2002

First registration

Jun 22, 2006

Dual registered

yes, broker-dealer

Other names

TENA LUCILLE BAUER|TENA LUCILLE JOHNSON|Tena L Kautz|TENA LUCILLE KAUTZ

IAPD individual key

2965078

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6b4ea92d-bdf8-2323-a69b-ba9da139eaa4

First observed

Jun 22, 2006

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.